March 30, 2017
FINRA PROPOSES CHANGE TO THE PRIVATE PLACEMENT FILER FORM
On March 28, 2017, the Securities and Exchange Commission (“SEC”) issued a Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, by the Financial Industry Regulatory Authority (“FINRA”), relating to the Private Placement Filer Form (the “Filer Form”). SEC Release No. 34-80321.
March 28, 2017
Client Alert: SEC Adopts T+2 Settlement Cycle for Securities Transactions
On March 22, 2017, the Securities and Exchange Commission (“SEC”) adopted an amendment to Rule 15c6-1(a) under the Securities Exchange Act of 1934 (“Exchange Act”), shortening the standard settlement cycle (i.e., the length of time between trade execution and delivery of cash…